Kenneth M. Prince
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Morris Prince was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1978. Kenneth had worked at 4 firms and has passed the Series 7, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 1985 - November 6, 1985
BRITTENUM & ASSOCIATES, INC.
March 10, 1982 - December 6, 1984
E. F. HUTTON & COMPANY INC
August 3, 1981 - December 9, 1981
T. J. RANEY & SONS, INC.
September 7, 1979 - July 13, 1981
BRITTENUM & ASSOCIATES, INC.
August 8, 1978 - August 17, 1979
POWELL & SATTERFIELD, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/15/1978
Registered Representative ExaminationCurrent Firm
BRITTENUM & ASSOCIATES, INC.
CRD#: 7179 / SEC#: , 8-18495
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
